Compliance Assurance Reviewer

Job Description

Purpose of the role

To provide assurance over the effectiveness of Compliance Risk Management across the bank.

Accountabilities

- Development and refresh of the Compliance Assurance Annual Plan, ensuring that the Annual Plan focuses on areas of highest risk and value in relation to Compliance Risk.
- Delivery of risk-based assurance activity to validate the effectiveness of controls and processes designed to mitigate Compliance Risk.
- Identification of potential risks associated with non-compliance or control weaknesses in relation to Compliance Risk.
- Verbal and written communication of Compliance Assurance reports and issues to enhance the effectiveness of Compliance Risk management and oversight.
- Build, development and maintenance of effective relationships between Compliance Assurance and stakeholders across the three lines of defence.
- Proactive adoption of Data Analytics capabilities to increase the efficiency, effectiveness and coverage of Assurance work.
- Continued focus on the Barclays Mindset and Consistently Excellent to enhance the Assurance that we deliver, how it is delivered and the culture within the bank.

Assistant Vice President Expectations

- To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.
- Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes
- If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.
- OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.
- Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
- Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
- Take ownership for managing risk and strengthening controls in relation to the work done.
- Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
- Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
- Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.
- Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
- Influence or convince stakeholders to achieve outcomes.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.

Join Barclays’ Compliance Assurance team and play a key role in delivering independent assurance reviews across APAC. The role involves working collaboratively with stakeholders across the region and globally throughout the planning, execution, and reporting of Compliance Assurance reviews, with a primary focus on Compliance and Reputation Risks. Candidates should have a good working knowledge of Conduct Risk frameworks, risk and control principles, and assurance testing methodologies and techniques. Well-developed analytical skills are required to identify key risks, control weaknesses, and areas of non-conformance, supported by the ability to communicate observations clearly and produce accurate reports.

To be successful as a Compliance Assurance Reviewer, you should have experience with :

- Compliance Testing, Internal Audit, Risk Management, or a related assurance discipline within the financial services industry.
- Data Analytics/Generative Artificial Intelligence tool adoption to increase efficiency, effectiveness, and coverage.
- Professional qualifications in audit, compliance, risk management, or a related discipline would be advantageous.
- Effective written and verbal communication skills in English. Mandarin language proficiency would be an advantage, as the role involves reviewing documents in Mandarin

Essential Skills:

- Report Writing
- Stakeholder Management
- Priority Management

You may be assessed on key critical skills relevant for success in the role, such as risk and controls, change and transformation, business acumen, strategic thinking, as well as job-specific technical skills.

Barclays is required by law to confirm that you have the Legal Right to Work in any role that you apply for. If you currently hold a work visa sponsored by Barclays, or you would require sponsorship from Barclays, you must declare this as part of your application. Sponsored visas are role and entity specific and any changes must be reviewed. It is important that you ensure you are working on the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in your application or any employment offer being withdrawn at any time.

#Hybrid